Victoria Legal Aid
January 2015
Compliance terms and conditions
Background
TheCompliance terms and conditions apply to Providersand to Panel Certifiers. These standardsspecifyProviders’and Panel Certifiers’ obligations as providers of legal aid services subject to the Simplified Grants Process.
Definitions
Legal Assistance has the meaning given to the term 'Legal Assistance' in the. Legal Aid Act 1978 (Vic).
Panel Certifier means a member of Provider Personnel who is approved in writing by VLA to certify grants of legal assistance.
Provider means a private law practice or Independent Children’s Lawyer who is a member of the Panel.
Provider Personnel means:
(a)where the Provider is a Private Law Practice, the Australian legal practitioners who are partners, directors or employed Australian legal practitioners of the Private Law Practice; and
(b)where the Provider is an Australian legal practitioner who is an Independent Children’s Lawyer, that Australian legal practitioner.
Simplified Grants Process means the method of processing a request for a grant of legal assistance based on a Panel Certifier’s recommendation,applying VLA's funding guidelines and merits tests, and certification of documentary proof of matter and means.
1. Legal Assistanceapplication assessment requirements
1.1Providers and Panel Certifiersmust conduct an assessment of each matter and make recommendations to VLA as to whether a client’s application for Legal Assistance should be approved or refused in accordance with:
a. the guidelines for Legal Assistance made by the VLA Board under section 9 of the Legal Aid Act1978 (Vic)
b. any written directions given by VLA as to the proper interpretation of those guidelines
c. applicable Commonwealth or State merits tests.
1.2In conducting a merits and guideline assessment, Panel Certifiers must:
a. obtain and retain all documentation and information reasonably necessary for the forming of an opinion as to the merits of a matter
b.obtain and retain all documentation and information reasonably necessary for the forming of an opinion as to how the matter meets the relevant guideline
c. continue to assess eligibility for Legal Assistance based on guidelines and merit, while the file is open and before each new extension request
d. apply for Legal Assistance on behalf of a clientat least14 days beforethe next court event or other significant event, unless there are reasonable grounds for the late application.
1.3Where aPanel Certifier makes a recommendation to VLA the Certifier must:
a.inform the client of the nature and extent of the recommendation and document those reasons on the file
b. keep all documents relied upon in the making of the recommendation on the file,including copies of all material forwarded to VLA.
2.Reporting and record keeping requirements
2.1Panel Certifiers must:
a.maintain separate files (or separate folders within a client’s file) for each matter andkeep generic material (such as proof of means) on both files or cross referencethe files for easy location of documentation;
b.ensure that all documentation relevant to a specific grant of Legal Assistance is clearly identifiable such as the signed application form (or signed print out from Atlas), worksheets, proof of means and proof of matter;
c.before finalising the matter in ATLAS ensure that all documentation required by VLA isclearly identifiable in the file;
d.before finalising a matterin ATLAS, ensure that all necessary steps have been taken, including (where appropriate):
i.disbursing any trust monies to the client or VLA in accordance with the client’s written instructions;
ii.disbursing any trust monies to VLA in accordance with the terms of the grant of Legal Assistance
iii.disbursing any trust monies in accordance with the Legal Profession Act 2004 (Vic).and the rules governing solicitors’ trust accounts.
3. Certification of documentary proofs
3.1Panel Certifiersmust:
a.obtain and retain on file current documentary proof of means and documentary proof of matter, including but not limited to:
i.(where applicable) government benefit card, current payslips, bank statements and any other documents evidencing the client’s income, assets and liabilities
ii.charge sheets, originating process or other initiating documents, affidavits, witness statements, copy exhibits, and notices of hearing
at the commencement and during the course of a legally aided matter
b.be responsible for certifying to VLA the existence of documentary proof of means and documentary proof of matter and that documentation’s substantiation of the information provided to VLA, including:
i.comparing the information contained in the documentary proof of means with the information provided by the client on the application form
ii.satisfying themselves that the documentary proof of means substantiates the information provided on the application form
iii.retaining on file copies of documents relating to and substantiating disbursements paid by VLA including but not limited to, expert reports, service fees and interpreter fees
iv.satisfying themselves that the documentary proof of matter relates to the current matter for which assistance is sought
c.not claim fees from VLA for a matter if documentary proof of means is not on file.
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